California CLE Course Catalog

Financial firms are under heightened scrutiny from the SEC, facing investigations and potential penalties for violations related to off-channel communication, recordkeeping and other matters. Expert panelists discuss proactive measures for asset managers and others in cooperating with the SEC to reduce penalties.

The SEC is putting a strong emphasis on safeguarding investors, ensuring transparency, and enforcing regulations within the cryptocurrency market. The Chief of the SEC's Crypto Unit discusses the agency’s priorities related to cryptocurrencies, such as registration, disclosure, legal frameworks, and cybersecurity measures.

Navigating SEC-related criminal investigations requires very careful consideration. With the increasing frequency of parallel DOJ investigations, panelists discuss how clients should respond to such investigations. Experts discuss latest trends in joint investigations.

Cooperation, robust internal controls, and a culture of compliance are key to preventing accounting fraud, as discussed by expert panelists from the SEC and the private sector. Effective communication and cooperation are vital in navigating investigations, empowering gatekeepers, and setting an example for other firms.

A panel of securities law experts, including SEC officials, discusses the latest trends and in insider trading enforcement actions. Discussion of new technological advances, 10b5-1 trading plans, and recent cases. Panelists offer proactive measures and client takeaways.

An expert panel including counsel from the SEC discusses how managing a corporate crisis or major internal investigation requires a delicate balance of assessing the impact on disclosure and regulators and engaging with various stakeholders. Auditors play a crucial role in assessing evidence, collaborating with boards/counsel, and navigating independence issues.

Join us as experts discuss the SEC’s Whistleblower Program and recent whistleblower awards. Panelists give recommendations on handling whistleblower complaints and rules against retaliation. Discussion of UBS, Activision, and Brinks cases.

Expert crypto lawyers and senior SEC officials discuss how the regulation and enforcement of cryptocurrency are currently under scrutiny, with a focus on SEC investigations and enforcement actions. The SEC's Crypto Assets and Cyber Unit has seen significant growth, focusing on cases involving fraud, registration issues, and market manipulation within the crypto space.

Whistleblower activity is on the rise, prompting increased scrutiny and enforcement by the SEC, further encouraging individuals to report, leading to record-breaking awards. Experts discuss how companies should take whistleblower concerns seriously, cooperate with the SEC, and avoid retaliation.